UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
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FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. |
SEC USE ONLY | |
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1(a) NAME OF ISSUER | (b) IRS IDENT. NO. | (c) S.E.C. FILE NO. | ||||||||
Guaranty Bancshares, Inc. | 75-1656431 | 001-38087 | (e) TELEPHONE NO | |||||||
1(d) ADDRESS OF ISSUER | CITY | STATE | ZIP CODE | AREA CODE | NUMBER | |||||
16475 Dallas Parkway, Suite 600 | Addison | TX | 75001 | 903 | 572-9881 |
2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD |
(b) RELATIONSHIP TO ISSUER | (c) ADDRESS (STREET, CITY, STATE, ZIP CODE) | ||||||||||||
Randall R. Kucera | Director/Officer | 16475 Dallas Parkway, Suite 600, Addison, Texas 75001 |
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3(a) | (b) | SEC USE ONLY | (c) | (d) | (e) | (f) | (g) | |||||||||||||||||||||||||||||||
Title of the Class of Securities To Be Sold |
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities |
Broker-Dealer File Number |
Number of Shares or Other Units To Be Sold (See instr. 3(c)) |
Aggregate Market Value (See instr. 3(d)) |
Number of Shares or Other Units Outstanding (See instr. 3(e)) |
Approximate Date of Sale (See instr. 3(f)) (MO. DAY YR.) |
Name of Each Securities Exchange (See instr. 3(g)) | |||||||||||||||||||||||||||||||
Common Stock | Matrix Trust Company 2800 N. Central Avenue, Suite 900 Phoenix, AZ 85004 |
5,000 | $147,500(1) | 10,973,639 | 11/13/2020 - 12/14/2020 |
NASDAQ |
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TABLE I SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title of the Class |
Date you Acquired |
Name of Acquisition Transaction |
Name of Person From Whom Acquired (If gift, also give date donor acquired) |
Amount of Securities Acquired |
Date of Payment | Nature of Payment | ||||||||||||||
Common Stock | Various | Issuer common stock allocated to participants account in Issuers KSOP | Guaranty Bancshares, Inc. Employee Stock Ownership Plan with 401(k) Provisions | 5,000 | Various | Rollover of funds from participants retirement account with prior employer to their account in Issuers KSOP |
INSTRUCTIONS: | If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. |
TABLE II SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
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Name and Address of the Seller | Title of Securities Sold | Date of Sale |
Amount of Securities Sold |
Gross Proceeds | ||||||||||||||||
Randall R. Kucera | Common Stock | 11/09/2020 | 3,000 | $90,000 |
Remarks:
(1) | Based on closing market price of $29.50 on November 12, 2020. |
INSTRUCTIONS:
See the definition of person in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
November 13, 2020
Date of Notice
Date of Plan Adoption or Giving of Instruction, if Relying on Rule 10b5-1.
/s/ Randall R. Kucera
(Signature)
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)